EcoMobility SHIFT - Assessment and Audit Scheme
Manual for
Auditors and Advisors
Contact
ICLEI - Local Governments for Sustainability e.V.
Kaiser-Friedrich-Str.7
53113 Bonn
GERMANY
Santhosh Kodukula, EcoMobility Program Manager
Monika Zimmermann, Deputy Secretary General
http://www.ecomobility-shift.org
Disclaimer
The sole responsibility for the content of this document lies with the authors. It does not necessarily reflect the opinion
of the European Union. Neither the EACI nor the European Commission are responsible for any use that may be made of
the information contained therein.
Project EcoMobility Scheme to Incentivise Energy-Efficient Transport (EcoMobility SHIFT)
Contract No. IEE/09/924/S12.558318
Subject Step-by-Step Manual for SHIFT Auditors and Advisors
Version April 2013
Prepared by ICLEI - Local Governments for Sustainability e.V: Mr Santhosh Kodukula
Contributors Edinburgh Napier University: Dr Michael CarrenoMobiel 21: Ms Ilse VleugelsTraject: Ms Katrien BackxTrivector: Ms Anna Clark, Ms Karin Neergard, and Ms Katharina EvanthCity of Burgas: Ms Elena IvanovaCity of Miskolc: Ms Katalin HudakMobycon: Mr Mark Kirkels
Layout ICLEI - Local Governments for Sustainability
Introduction
This manual describes the complete EcoMobility SHIFT
assessment and audit procedure from A to Z and refers
to a number of documents in the appendices for further
guidance. In the manual, you will find all the information
a city needs to successfully assess its EcoMobility
performance and to have the assessment verified by a
SHIFT auditor.
Who should read this document?
First of all, the EcoMobility SHIFT project leaders in the
cities. These are the people who are going to lead the
SHIFT assessment process in their city and who will follow
up the possible subsequent audit process. They need to
know the whole SHIFT-procedure before the start and
should follow it in the way explained in this manual. He
or she will explain it to other stakeholders in the city
involved in the self-assessment and audit process and will
share some of the documents in the appendices with them
at appropriate times.
The second target group of this manual are the
EcoMobility SHIFT auditors and advisors. These people
are external experts contracted by the city either to
assist the city as an advisor during the self-assessment
process or to verify the city’s self-assessment report as
SHIFT auditor. This document explains in detail their
role as advisor and as auditor in the EcoMobility SHIFT
assessment and audit scheme.
And, last but not least, a third target group of this manual
can be any person from any organisation who wants to
learn more about the SHIFT-procedure.
The manual consist of three parts:
¢ Part I of this manual gives you a short introduction
to the whole SHIFT scheme and its procedures;
¢ Part II focuses on the EcoMobility self assessment
process. This part is mandatory reading for the
SHIFT project leader of the city and for the
SHIFT advisor who assists a city during the self-
assessment phase;
¢ Part III focuses on the SHIFT-audit procedure.
This is recommended reading for the city’s SHIFT
project leader and is mandatory reading for
EcoMobility SHIFT advisors and auditors.
Throughout the manual, we will refer to a number of
documents (explanatory documents, reporting templates,
forms, etc.) in the appendices to help you in your work as
SHIFT project leader, SHIFT advisor and/or SHIFT auditor.
The appendices are as follows:
Appendix 1: EcoMobility indicator descriptions
Appendix 2: EcoMobility report template for the
assessment
Appendix 3: EcoMobility audit report template
Appendix 4: Assessment workbook
Appendix 5: City profile factor descriptions
Appendix 6: EcoMobility audit request form
Appendix 7: Powerpoint presentation on the SHIFT
scheme
For any information about SHIFT-auditor requirements,
auditor trainings and SHIFT events, please refer to www.
ecomobility-shift.org for more details and any updates.
We hope you enjoy reading the manual and wish you good
luck with adopting the SHIFT scheme in your city!
Part 1EcoMobility SHIFT Scheme in a nutshell
EcoMobility SHIFT Assessment and Audit Scheme Manual 6
What is EcoMobility?
EcoMobility refers to the ability of any individual to
travel, access opportunities and reach destinations in an
environmentally-friendly, safe and healthy way.
Ecomobile cities continually develop, improve and
encourage the use of alternatives to the private car. They
have an attractive and safe environment and a high quality
of life, enabling users, both citizens and visitors, to meet
their mobility needs without jeopardising sustainability at
the local or wider levels.
Cities developing EcoMobility will:
¢ Reduce the need for the use of private car;
¢ Ensure that all travel facilities are accessible and
affordable for everyone;
¢ Encourage and promote the use of walking, cycling,
public transport and inter-modality;
¢ Provide travel choices (both motorised and non-
motorised) to citizens;
¢ Support the use of environmentally-friendly and
low-emission vehicles;
¢ Continually encourage and achieve reduction in the
local need for transport; and
¢ Continually improve and develop performance in
planning and delivering ecomobile travel.
What is EcoMobility SHIFT Scheme?
The EcoMobility SHIFT Assessment and Audit scheme
or the SHIFT scheme is a total quality management
scheme that allows cities to assess their current transport
performance, establish a path of continuous improvement,
and audit (verify) performance and award a Label for the
achievement.
The SHIFT-scheme is made up of three stages: i. a process
for assessing performance ii. an audit procedure for
verifying performance and iii. a label for the achievement.
The assessment process allows cities to measure
performance and identify specific strengths and
weaknesses in the fields of passenger transport and
mobility by assessing a set of indicators. A city can
independently conduct an assessment or hire an external
advisor for support.
The audit procedure allows cities to verify internal
performance and receive external recognition through a
Label of EcoMobility.
The process for cities is briefly illustrated in the figure
below.
1
2
3
Stage 1: Assessment
Stage 2: Audit
Stage 3: Label
Figure 1: The whole SHIFT scheme can be summarised in the above 3 stages. The Assessment, the Audit and the EcoMobility Label
EcoMobility is travel through safe and sustainable modes in an integrated fashion. The emphasis is placed on creating cities and transport systems that cater the needs of the people. Source: Breithaupt/GIZ Photo DVD, 2009
7EcoMobility SHIFT Assessment and Audit Scheme Manual
The EcoMobility SHIFT Indicators
At the heart of the process are a set of 20 predefined
indicators. These indicators allow cities to measure and
assess EcoMobility performance at the local level, and to
connect such measurements with specific improvements.
ENAB
LERS
E1: Understanding User NeedsE2: Public ParticipationE3: Vision, Strategy and LeadershipE4: Finance for EcoMobilityE5: Personnel and ResourcesE6: Monitoring, Evaluation and Review
TRAN
SPO
RT S
YSTE
MS
AND
SERV
ICES
TSS1: PlanningTSS2: Low Speed / Car Free ZonesTSS3: Information Provision & SystemsTSS4: Mobility ManagementTSS5: ParkingTSS6: WalkingTSS7: CyclingTSS8: Public Transport Coverage & SpeedTSS9: Usability of Public TransportTSS10: Low Emission Vehicles
RESU
LTS
AND
IMPA
CTS
RI1: Modal SplitRI2: SafetyRI3: Greenhouse GasesRI4: Air Quality
Figure 2: EcoMobility SHIFT indicators used in the assessment and audit stages
The 20 indicators as described in the figure, are classified
into three categories:
¢ Enablers,
¢ Transport systems and services, and
¢ Results and impacts.
Five assessment levels are provided for each indicator,
for each level, a description of attributes that a city would
have to be classified at that level is given.
SHIFT also provides an interactive Assessment workbook
to score and visualise EcoMobility performance (see
appendix 4).
In appendix 1 to this manual, each indicator is described in
terms of quantitative and/or qualitative measurements.
Examples of best practice are provided along with
suggestions for how to measure the indicator in the
future.
The assessment that the cities undergo using these
indicators is the first stage of the EcoMobility SHIFT
Scheme.
The Audit and the EcoMobility Label are the second and
third stages respectively.
EcoMobility SHIFT Assessment and Audit Scheme Manual 8
The SHIFT Assessment Process
The assessment process is about measuring and
evaluating a city’s mobility policies and measures, and
proposing ways to improve its EcoMobility.
The assessment process for cities is briefly illustrated
in the five steps indicated below. Each of these steps is
explained in more detail in part II of the manual. The stage
I of the SHIFT scheme is dependent on the 20 indicators
mentioned in the previous section. The Audit & Label
procedure i.e. Stages II and III are optional.
SHIFT Audit ProcedureDepending on the EcoMobility status and ambitions, and
following the assessment process, a city can go on to
perform an external audit by a licensed auditor (marked
in the yellow box after step 4 in the chart above). This
audit can take place after one or several assessments,
and is likely to take place when the city’s performance
has improved to a point that benchmarking and public
recognition with an EcoMobility label is worthwhile.
Only a licensed auditor can perform the audit to verify the
city’s performance against the indicator framework.
Every city taking part in the process will perform an
‘EcoMobility assessment’. This assessment process is
expected to be repeated on a regular basis (approx. every
three years) to take account of changing circumstances
in the city. Once the five steps are completed, and
fully documented, the actual implementation of the
improvement actions can begin (step 6 in the chart below).
Though, implementation in itself is not a part of the SHIFT
scheme, it is suggested that cities implement their plans
before doing and a re-assessment. .
During the audit phase, the scores obtained from the
indicators are adjusted by taking a number of city profile
factors into account. This is done to ensure that cities will
be assessed on a relatively level playing field. This means,
for example, that cities with natural structural barriers
to EcoMobility are not unfairly penalised, and those with
fewer barriers will not be unfairly advantaged.
Depending on the score obtained from the indicators,
a city can be awarded a Gold, Silver or Bronze Label for
EcoMobility.
11 2 3 4Organise
a Worksh
op
Prepare for A
ssessm
ent
Measure In
dicators
Assess
Perform
ance
56
Review Policies
Plan Actions
Implement
Actions a
nd Plans
II
III
Apply for an Audit*
Receive Label**
*Cities that have completed an audit and are not satisfied with their audit score will need to proceed to step 5 and redo the assessment
** Cities that have received the label can hold the label for 3 years, upon completetion of which they will need to redo the whole SHIFT process to know the change in their label
Stage I
Stage II
Stage III
Figure 3: The complete EcoMobility SHIFT process diagram. The Assessment Stage, the Audit Stage (II) and the Label Stage (III)
9EcoMobility SHIFT Assessment and Audit Scheme Manual
Benefits for a city using the SHIFT Scheme
The SHIFT-scheme provides local authorities with an
effective tool to measure, assess and improve urban
mobility. SHIFT has been designed mainly to help improve
EcoMobility in small and medium-sized cities with
approximately 50,000 - 500,000 inhabitants, irrespective
of the current transport performance.
The assessment stage of SHIFT enables local authorities
to understand how best to develop an effective path
towards EcoMobility. The benefits for a city undergoing
SHIFT are:
¢ Become more efficient and more effective with
improved priorities;
¢ Identify areas for further improvement and thus
strengthen the transport plans;
¢ Analyse and score the performance and the
situation in the city;
¢ Get a feedback for the efforts put in by the city
leaders in improving the transport in the city;
¢ Become a source of inspiration for other cities.
Terms of use of the SHIFT Scheme for a the city
A city interested in embarking on EcoMobility SHIFT is requested to establish contact with the EcoMobility SHIFT
secretariat, currently, hosted by ICLEI Local Governments for Sustainability (World Secretariat). The city is then
registered as a user. Subsequently, the city can download the manual and carry out the self-assessment. The city can
approach the EcoMobility SHIFT auditors to perform an advisory role during the assessment stage.
An audit request can be submitted to this secretariat to start the audit procedure.
The Secretariat will moderate the EcoMobility SHIFT network and website, organises the training of auditors and
ensures a high standard in all aspects of the scheme.
Cities with a certified measurement of their EcoMobility status (after audit) become part of the EcoMobility SHIFT
network of cities and auditors.
Taking part in an external audit of EcoMobility will further
help the city to:
¢ Demonstrate to its citizens that the city cares for
their mobility needs;
¢ Demonstrate to other cities in the region that the
audited city is engaged with its citizens and the
environment;
¢ Give recognition to city leaders of the work done to
improve quality for citizens;
¢ Develop resource allocation and provide access to
funding (both internally and externally);
¢ Access and contribute to knowledge and good
practice examples; and
¢ Join a community of internationally-recognised
cities through the EcoMobility Label.
Cities are welcome to engage with SHIFT in the way that
suits them best, for example: for internal measurement
and quality management, for comparison or to receive a
Label of EcoMobility.
The scheme is constructed in a way that a city can decide
to use it either mainly internally or to call in external
tailored advice.
Part 2A Step-by-Step Guide for the Assessment
This step-by-step guide describes in detail the SHIFT self-assessment process. Following the procedures explained in
here should allow a city to carry out the self-assessment of its EcoMobility performance on its own. We recommend
therefore that the SHIFT-project leader of the city reads this guide and follows all instructions carefully as these
provide the basis for the subsequent successful SHIFT audit.
A city can also decide to call in external expertise from a SHIFT advisor who has followed the SHIFT auditor course and
is more experienced in working with the scheme. The SHIFT advisor can assist the city in the EcoMobility assessment
process in different ways. He/she can assist the city with the whole assessment, with any specific parts of it, make
a quality check at the end of the process or assist the city with the registration for an audit. The city will develop a
contract with the SHIFT-advisor and decide what assistance they require.
EcoMobility SHIFT Assessment and Audit Scheme Manual 12
The image above describes the five central steps each
city takes in assessing its EcoMobility performance. The
primary goal of an audit is to receive formal recognition of
a city’s current state of EcoMobility and to compare with
other cities.
Once the five steps are completed and fully documented,
the actual implementation of the improvement actions
can begin. Implementation (step 6), in itself, is not a part of
the EcoMobility SHIFT Assessment and Audit scheme.
11 2 3 4Organise
a Worksh
op
Prepare for A
ssessm
ent
Measure In
dicators
Assess
Perform
ance
56
Review Policies
Plan Actions
Implement
Actions a
nd Plans
II
III
Apply for an Audit*
Receive Label**
*Cities that have completed an audit and are not satisfied with their audit score will need to proceed to step 5 and redo the assessment
** Cities that have received the label can hold the label for 3 years, upon completetion of which they will need to redo the whole SHIFT process to know the change in their label
Stage I
Stage II
Stage III
The SHIFT Process
It is estimated that the EcoMobility assessment process
(Steps 1-5) takes at least 3 months after the start of the
procedure, and it should not exceed 6 months in order to
avoid previous steps or evaluations becoming out-of-date.
The duration of the process depends on the local/regional
circumstances.
Each step is explained in more detail in the following
sections.
13EcoMobility SHIFT Assessment and Audit Scheme Manual
STEP 1: Organise a EcoMobility Working Group
What is the purpose of an EcoMobility working
group?
An internal working group is formed to compile evidence,
to discuss the city’s performance against the EcoMobility
indicators and to agree the way forward in terms of
content, timing and responsibilities.
What does an EcoMobility working group look like?
As the EcoMobility assessment covers a wider scope than
just the staff directly responsible for transport in the city,
it is important that the group’s composition reflects the
departments within the city that are responsible for the
functions covered by the 20 EcoMobility indicators.
For smaller cities, it is recommended that the working
group should be comprised of three to seven people. For
larger cities, there should not be more than ten to fifteen
people in the working group.
The precise composition of the group is not prescribed
– it should instead be decided by the city – but, some
of the functions that may be represented include the
people responsible for land use planning, for planning and
delivering infrastructure and services across the various
transport modes (e.g. those who plan the bike network,
but also those who implement and maintain it), and also
those private organisations that deliver services such as,
in some cities, the public transport operator.
It is important that senior managers take part in
working group activities in order to properly assess the
indicators that measure ’Enablers‘ of EcoMobility. It is
also important to include those responsible for transport
finance, for collecting data on the city (e.g. traffic counts,
socio-economic information) and for the mobility
measures that the city delivers.
It is not necessary to bring politicians into the working
group as the working group sessions might be too
technical and too time consuming. However it is
recommended that the politicians are kept informed
about the progress and output of the working group
meetings in each step. It might also be useful to invite
politicians to the strategy meeting (see step 5).
Should external stakeholders be members of the
working group?
It is beneficial to include external stakeholders, such as,
user associations, in the working group activities. This
could result in a more balanced and a more credible
assessment of a city. Also involving key external mobility
providers throughout the whole assessment process
might help to build widely accepted improvement actions.
Involving an external transport expert in the process can
provide overall credibility to the resulting assessment of
the EcoMobility performance.
The following questions can help you decide whether to
include external stakeholders:
¢ Is the attendance of the external stakeholder useful
for the assessment of the overall EcoMobility
performance of the city or just for some indicators?
¢ Is the city familiar with self-assessment exercises
and do city departments usually discuss mobility
matters?
¢ Does the city intend to request an audit after the
assessment? If yes, a working group with a sufficient
number of appropriate members is very important.
What are the roles and tasks of working group
members?
The main working group activities consist of measuring
and assessing the transport performance of the city,
discussing strengths and weaknesses and defining ways
for further improvement (see further steps).
At the set-up phase of the working group, three more
specific roles are to be taken up, either by the same
person or by more than one person. These are the roles of
SHIFT project leader, SHIFT contact person and a person
in charge of overall data compilation.
EcoMobility SHIFT Assessment and Audit Scheme Manual 14
The SHIFT project leader drives the process. Ideally,
he or she is the internal quality coordinator or official
with a more ‘objective’ view of the city’s mobility policy.
They have the following important tasks to carry out
throughout the whole assessment process:
¢ Initiation of working group activities;
¢ Internal communication between the working
group members;
¢ External communication with policy makers,
external stakeholders and with external advisors (if
appropriate);
¢ Coordination of activities of the working group
members;
¢ Facilitation of working group meetings;
¢ Documentation of working group activities.
The SHIFT contact person acts as the main contact person
between the city and the SHIFT organisation. Knowledge
of English is required for this role.
Person in charge of data compilation: it might be useful
to appoint one person within the EcoMobility working
group who coordinates – in close cooperation with the
SHIFT project leader – the collection and summary of
all the indicator measurements in order to assess the
city’s EcoMobility performance. Ideally, this task should
be taken up by a person with a good overall expert
knowledge of the city’s transport system such as an
official of the transport department.
Getting started
1. Seek support from a group of officials within the
city’s transport (or other EcoMobility related)
departments and/or the senior management of
the transport department itself.
2. Find out about the overall political interest for
the assessment of the EcoMobility performance
of the city. The short introduction to the
SHIFT scheme (part I of the manual) and the
powerpoint presentation found in Appendix 7
can be used for this purpose.
3. Appoint a SHIFT project leader in order to
assemble a sufficient amount of people needed
for the working group. These should be
found among all city departments and other
stakeholders who are key for the assessment.
Notes
It might be useful to organise one or several
contact meetings within the city in order to
explain the EcoMobility assessment and audit
scheme.
It is firstly worth having a look at existing
working group structures within the city and
consider expanding on these. An existing
working group dealing with the monitoring
of the city’s SUMP or similar transport policy
strategy paper might be the ideal EcoMobility
working group.
The EcoMobility working group can be
temporal, i.e. formed every three or five years
exclusively for the assessment and audit
procedure. It can also meet on a continuous
basis, e.g. every six months, for evaluating and
monitoring progress on actions.
Please document at least the following from step 1:
• The members of the working group
• Who takes on the different roles
As the work progresses, it is best to document the
working group meetings.
The Ecomobility report template provides
headlines and further guidance.
FINAL CHECKWhen a city has finished this step:
RR A SHIFT project leader, contact person and person
in charge of data compilation are appointed;
RR A SHIFT working group is installed and individual
members have got a basic understanding of the
whole EcoMobility assessment process and of their
own role in this;
RR There is a basic commitment of senior management
and from the political level in the city.
15EcoMobility SHIFT Assessment and Audit Scheme Manual
STEP 2: Prepare for Assessment
In step 2, the activities within the EcoMobility working
group are established. Through one or several meetings,
the working group members become familiar with the 20
EcoMobility indicators and the process of how to measure
and assess these. For each indicator, the group discusses
the current state of affairs or performance and agrees on
a score.
Familiarise working group members with SHIFT
scheme and EcoMobility indicators
It is important to have a common understanding of the
EcoMobility SHIFT assessment and audit scheme, and
to share the details of the complete set of EcoMobility
indicators with the working group members. It might
be a good idea to use the powerpoint presentation of
the EcoMobility SHIFT Assessment and Audit scheme
covering the whole SHIFT-assessment procedure.
Discuss the option to carry out an audit after
completion of the assessment
It is also important to reach common understanding about
the possible benefits for the city in adopting the SHIFT
scheme. Consider which of the following is a key driver for
the city:
¢ Mainly assessment of the current EcoMobility
status, see how it can further improve and get
inspiration from SHIFT? (Assessment);
¢ Mainly seek external recognition and compare with
other cities? (Audit);
¢ Aspire to an EcoMobility label? (Audit and Label).
After having completed the assessment, the city
can request an EcoMobility audit and subsequently,
certification. In the case of outstanding performance, it
can be rewarded a label. Please see the section “Prepare
for and Request an Audit” after step 4 for further
information.
Agree on a plan of action to compile all the data on
the indicators
An overview of the full set of 20 indicators will shed light
on the requested information that needs to be compiled in
order to assess the EcoMobility performance of the city.
Decisions are needed on the work involved to be able
to discuss and score indicators. Who will prepare for
which indicator, and would it require external advice and
re-sources? The person in charge of the data manages
this. And, finally, don’t forget to agree on timing. We
strongly recommend planning ahead for the next two
meetings dealing with the indicator assessment. The first
assessment meeting could be planned one month later
and the second assessment meeting one to two weeks
after this.
Agree on decision taking procedures
Additionally, the working group members should agree on
how differences will be resolved if there is disagreement
when the indicators are evaluated. This could include
such options as requiring full consensus via negotiation,
calculating an average score, or coming to a majority
decision. Whichever approach is used, ultimately one set
of scores should result and the scores need to be properly
justified.
Cities new to the EcoMobility SHIFT assessment
and audit scheme can organise a one-day
“Introduction to EcoMobility SHIFT” course
through a licensed EcoMobility SHIFT auditor.
The course aims to familiarise a newly-organised
working group with the processes, assessment
framework, goals and overall benefits of using
the assessment and audit scheme to measure a
city’s level of EcoMobility.
Plan for external advice
If required, the working group can ask for external help.
Advisors can be either consult-ants, private transport
providers or user group representatives. In general, an
advisor does not need to have gone through any training
requiring the use of the SHIFT scheme. In some cases, it
might be helpful to subcontract a licensed EcoMobility
SHIFT auditor as advisor in the assessment process,
especially if the city aspires to an audit.
Different types of advice might be needed:
¢ An advisor might be needed from the beginning
EcoMobility SHIFT Assessment and Audit Scheme Manual 16
to the end of one cycle of the assessment. The
advisor could help the city in setting up the working
group, moderating working group meetings, being
in charge of the assessment, helping to gather
information on the indicators and advising as to
which level the city should score etc. If the city’s
EcoMobility score is such that it wishes to carry
out an audit, an advisor can also help the city
with preparing the audit request to the SHIFT
organisation
¢ Subgroups can be set up involving external advisors
to prepare for the assessment of particular
indicators. In this case, these sub groups have
a specific task and the working group members
involved in these subgroups report back to the
EcoMobility working group. In one of the test pilots,
for example, the local cyclist association and the
association of people with reduced mobility were
involved in a particular subgroup to assess their
indicators of interest.
What resources are required?
The choice of carrying out an assessment only or a
combination of assessment and audit will have an impact
on the overall cost for the city in terms of time, effort and
money. A detailed plan of action for data compilation will
give an overview of the cost of data compilation (time +
money).
For the EcoMobility assessment (steps 1-5) the costs for
the city are:
¢ The time spent by the EcoMobility working group
members to prepare and attend the EcoMobility
working group meetings and provide feed-back on
reports. In the test pilots, having 4 working group
meetings was most common. A realistic indication
of time needed from each individual working group
member is 15 to 20 hours.
¢ The time spent by the SHIFT project leader, assisted
by the person in charge of the data compilation, to
coordinate, prepare and document all meetings and
to compile all necessary data. A realistic estimate
of their time for running the first round of SHIFT-
self-assessment – based on the pilot testing - is
between 100 and 130 hours. This depends mainly
on the overall data availability in the city and the
familiarity of the city administration of cooperating
between different city services. The next rounds of
self-(re)assessment could most probably be done in
half this time.
� The city can decide to take up these tasks
internally or to subcontract an external advisor
for all or part of these tasks. In the latter case,
the cost replaces (part) of the time needed for
the SHIFT-project leader.
� The evaluation of the SHIFT-assessments in the
pilot tests revealed that the in-put of the external
SHIFT-advisor either in the role of project
leader or as provider of input in the process for
specific tasks was very useful. Most of the cities,
however, thought they would be able to run
the next SHIFT-assessment round completely
internally.
For an EcoMobility audit, the costs for the city are:
¢ The fee of the licensed EcoMobility auditor who will
spend on average about 40 hours in order to verify
the city’s assessment report.
¢ On average 20 hours of time spent by the project
leader and some of the EcoMobility working group
members or other city contact people in order to
prepare for and participate in the audit e.g. at site
visits, at meetings with individual working group
members, for extra data provision.
Which geographical area to choose for the
Ecomobility assessment?
In general, the object of the EcoMobility assessment
might be the city’s administrative area or a city region. If
a city’s main objective is to benchmark with other cities,
however, we recommend restricting the assessment to
the city’s administrative area (although bear in mind that
administrative areas may not necessarily coincide with the
areas most relevant for urban transport considerations).
If self-assessment is the city’s main objective, it might
choose to assess EcoMobility in the city region if that is
17EcoMobility SHIFT Assessment and Audit Scheme Manual
considered more relevant although this might be difficult
because of issues with data availability and the split of
functions across administrative boundaries. From the pilot
tests, the experience is that data availability was the main
motivation for choosing the geographical area for the
first round of assessment. However some noted that they
would consider another geographical area in the future
rounds.
The SHIFT scheme has been designed mainly for small to
medium-sized cities. The current scheme draws on the
experiences in six cities of 40,000 to 200,000 inhabitants.
Smaller towns, larger city agglomerations and higher level
bodies will certainly benefit from an assessment but are
less likely to be able obtain a label, since several indicators
are less applicable or not applicable at all.
In one of its first meetings, the working group should
discuss and agree on which geographical area is the
most suitable for the assessment of the EcoMobility
performance. The final decision may influence the
composition of the working group.
Please document at least the following from step
2:
• Agreed geographical area of assessment
(including justification)
• The agreed plan of action to measure the
indicators
• The areas on which advice is needed from
external experts
The report template (Appendix 2) provides
headlines and further guidance.
Final Check
When a city is finished with this step:
RR The working group is familiar with the SHIFT
scheme;
RR The city’s ambitions with the EcoMobility
assessment are clear;
RR Working group members know what indicators
they are responsible for (measurement);
RR A realistic estimation of required resources (time
and money) can be made. An appointment for the
next meeting(s) is fixed;
RR External advice (if appropriate) can be
subcontracted.
EcoMobility SHIFT Assessment and Audit Scheme Manual 18
STEP 3: Measuring EcoMobility IndicatorsAfter planning the structure of the assessment, delegating
tasks to working group members and familiarising the
group with the EcoMobility SHIFT Assessment process
as a whole, it’s time to collect and prepare the indicator
evidence for assessment.
Summary of indicators
The EcoMobility SHIFT assessment and audit scheme is
based on 20 pre-defined indicators, which are grouped
into three main categories: “enablers”, ‘transport systems
and services’, and “result and impacts”.
Enablers refer to what a city or town does and how it does
it. The 6 enabler indicators (E 1 to E 6) are given in the
following table:
Enablers
E.1 Understanding User Needs
E.2 Public Participation in Decision Making
E.3 Vision, Strategy and Leadership
E.4 Personnel and Resources
E.5 Finance for EcoMobility
E.6 Monitoring, Evaluation and Review
Transport system and services refer to what is actually
delivered ‘on the ground’ i.e. the achievement of the
transport department in partnership with others. Overall,
10 indicators (TSS 1- TSS 10) are used to measure the
EcoMobility performance of a city’s transport system and
services.
Transport System and Services
TSS.1 Planning for New City Areas
TSS.2 Low Speed and Car Free Areas
TSS.3 Information Provision and Systems
TSS.4 Mobility Management Services
TSS.5 Parking Measures
TSS.6 Walking Conditions
TSS.7 Cycling Conditions
TSS.8 Public Transport Coverage and Speed
TSS.9 Usability of Public Transport
TSS.10 Low Emission Vehicles (LEVs)
Results and impacts refer to the achievements of the
transport system and services that have been put in place.
Overall, 4 indicators (RI 1 – RI 4) measure the EcoMobility
results and impacts.
Results and Impacts
RI.1 Modal Split
RI.2 Safety
RI.3 Greenhouse Gases (GHG)
RI.4 Air Quality
How to collect evidence on the indicators?
The actual process of evidence collection varies from
indicator to indicator. Some indicators might already
be clearly defined in a given city (such as RI.2: Safety
conditions), whereas others will need to be investigated
and assessed for the first time (such as E 3: Vision,
strategy and leadership).
When beginning to consider the evidence necessary for
any given indicator, it is recommended to refer to the
Indicator Descriptions document (Appendix 1), which
provides a summary of “Suggested evidence” for each
indicator.
Suggested evidence should, when available, always be
collected. Cities are generally expected to provide all
available evidence to support an indicator; otherwise, the
final score will not be an accurate measurement of current
EcoMobility performance. Over-all, we differentiate
three types of evidence: hard facts (F), policy/strategy
documents (D) and expert judgement (J).
To facilitate transfer of documents to the external auditor,
cities are encouraged to organise the evidence digitally
rather than in print, and ensure easy access to details. We
recommend the following:
¢ for quantitative indicators, provide a brief note
next to the figure (Max. 1 page) on how calculations
were done, what data sources were used and, if
relevant, refer to the person or service who was in
19EcoMobility SHIFT Assessment and Audit Scheme Manual
charge of measuring that particular indicator for
more information.
¢ for more qualitative indicators, highlight the
specific sections and pages in the planning and
policy documents or reports where you find the
evidence for the indicator you are looking for i.e.
do not just refer to entire documents of over 100
pages.
¢ For indicators made up of more than one sub-
criterion, look for evidence on each of these.
¢ In order to manage evidence collection, create an
EcoMobility SHIFT folder on the city’s Intranet
with the same sub-folders as the three indicator
categories: Enablers, Transport System & Services,
Results & Impacts. Consider using the prefix E1_ to
E6_, TSS1_ to TSS10_ and RI1_ to RI4_ in file names
of all evidence materials.
If your city is having difficulty in collecting
certain types of information (especially when
preparing for an audit), it might be useful to
hire an expert advisor to help with evidence
collection.
How much evidence is needed?
In general, assessments have no minimum evidence
requirements, although a summary of sufficient types of
evidence (hard facts, policy/strategy documents and/or
expert judgement) for each indicator can be found in the
EcoMobility Report. It is important to note – especially for
beginner cities – that understanding how to collect data is
an important part in achieving EcoMobility.
However, if cities are interested in requesting an audit,
it is crucial they meet the sufficient evidence type
standards. See the section “Prepare For and Request an
Audit” in this guide for more information.
When preparing for an audit, it is essential that the
working group be aware of the minimum/sufficient types
Figure 3: Suggested Evidence - Each indicator description will contain a section highlighting what kind of evidence can be produced to justify a score for the respective indicator.
EcoMobility SHIFT Assessment and Audit Scheme Manual 20
STEP 4: Assess EcoMobility Performance
What does assessment of a city’s EcoMobility
performance entail?
Assessment of a city’s EcoMobility performance entails
presenting a summary of the evidence indicator-by-
indicator in the working group, discussing the evidence
and agreeing on a score (Level 1-5), and identifying
possible short- and long-term goals of improvement based
on scoring.
There should only be one score from the working group
for each indicator based on hard data or expert opinion.
As mentioned in step 2, if differences of opinion arise,
the working group members should agree beforehand
how differences will be resolved. This could include
such options as requiring full consensus via negotiation,
calculating an average score or coming to a majority
decision. Whichever approach is used, ultimately only
one set of scores should result and the scores need to be
properly justified.
How to score individual indicators on a level 1 to 5
All indicators are to be assessed on a scale from level 1 to
level 5. Level 5 indicates the highest level of EcoMobility
and level 1 the lowest.
The assessment workbook also contains information
about the maximum number of points for each indicator
relative to the overall maximum points per category. All
indicators do not have the same importance (measured
by the maximum number of points that the indicator
contributes to).
To further assist the assessment, the Indicator
descriptions (Appendix 1) provide a lot of useful
information.
In each indicator description (see screen shot below), you
will find:
¢ The definition of the indicator
¢ The purpose of the indicator, i.e. the relevance
of this indicator with regard to a city’s overall
EcoMobility performance
¢ Terminology, i.e. a further explanation of all terms
used in the indicator definition
¢ Suggested evidence, i.e. the evidence a city should
of evidence required for each indicator. The person in
charge of the data compilation will keep a close check on
the minimum data requirements for each indicator.
How recent does the evidence need to be?
You should use the latest available evidence, and this
should be no more than 5 years old. In some cases, it
may be appropriate to take a combined value over a few
years (for example, funding for non-motorised transport
might vary in amount from year to year, due to the budget
focus). Ensure that your method is properly documented
in the EcoMobility report.
How to prepare evidence for assessment in the
working group?
When the necessary data for assessment is collected
and stored in an EcoMobility folder on the city
administration’s Intranet, the SHIFT project leader and
the person in charge of data compilation take an overview
of all available evidence and prepare a detailed agenda for
the upcoming assessment meeting(s).
FINAL CHECK
When a city is finished with this step:
RR All working group members should have collected
evidence on the indicators for which they are
responsible and the quality of the evidence is
checked by the per-son in charge of the data
compilation;
RR The SHIFT project leader and person in charge of
data compilation should have received all evidence
data and information and summarised/structured
evidence in-to a presentable format (meeting
agenda, with time-line);
RR The working group should be ready for the
assessment meeting(s);
RR SHIFT project leader should be aware of the overall
indicator evidence.
21EcoMobility SHIFT Assessment and Audit Scheme Manual
be able to provide in order to verify a particular
score.
¢ The scoring, i.e. the weight of this indicator in
the overall scoring of the city’s EcoMobility
performance . “Out of 10 points” in the example
of E1 means that a score 5 (highest score) on this
indicator counts for the full 10 points out of a total
of 350 points for all indicators.
Figure 4: A snippet of the Indicator Description - E1: Understanding User Needs
¢ The grounds for reducing the total maximum
possible score (We come back to this in the section
Prepare for and request an audit after step 4).
¢ Links to further information and best practice
EcoMobility SHIFT Assessment and Audit Scheme Manual 22
How to score indicators that consist of two or more
subcriteria?
Most of the 20 EcoMobility indicators are further detailed
into two or more different sub-criteria. These sub-criteria
and their respective levels 1 to 5 are described in the
tables in the indicator description file. We provide the
example of the indicator “E2 – Public participation” in the
table.
Level 1 2 3 4 5
SummaryNo public participation
Information not participation
Very limited opportunity for public to contribute
Broad consultation on plans; feedback used
Broad consultation on all aspects of transport; feedback used
Citizen involvement in planning
None Information onlyCan give feedback on information
Can help to develop plans and give feedback
As left; also for projects
Use of feedback from citizens
None None NoneClear that input used to modify plans
As left; also for projects
Who is involved in participation
None Public PublicAs left; attempts made to reach out to people
Very wide range of people – old, young, ethnic minority, business etc.
Involvement Methods
NoneBasic information given on paper, email
Basic information given on paper, email
Wider range of media than paper and email
Innovative methods to reach difficult target groups
Frequency of Involvement
None None When plans are madeWhen plans are developed and made
Continuous through all stages of project development and implementation
So in our example, the city scores relatively high on “involvement methods’ (score 4) and excellent on “frequency of involvement”
(score 5) but scores low on citizen involvement on citizen involvement in planning” (score 2), to moderate on “Use of feedback from
citizens” and on “who is involved in participation” (both score 3). The summary score is 3 (the average is 3,4).
The first line in the table gives the scoring levels from 1 to
5. The second ‘Summary’ line describes the overall scoring
on this indicator. This summary score is obtained through
averaging the scores on all five individual sub-criteria
expressed in the lines below. For indicator E2, there are 5
sub-criteria.
Summary Score
5 Sub-criteria
23EcoMobility SHIFT Assessment and Audit Scheme Manual
Identify possible Short and Long-Term Goals of
Improvement based on individual indicator scorings
While assessing each indicator within the working group,
it is important for the SHIFT project leader to facilitate
the discussion about strengths and weaknesses. Guiding
questions are:
¢ Why is an indicator strong?
¢ Is it possible to strengthen it further by small
means?
¢ Why is an indicator weak?
¢ Is it possible to strengthen it by small means?
¢ What effort is needed in order to reach a higher
level in the scoring of an indicator? Can it be done
in a short time period? Or does it require long term
actions?
¢ Are there any concrete suggestions among the
working group members of ways to improve?
All information gathered through these discussions can
help the SHIFT project leader to prepare for the next step
“Review policies and plan action” (step 5 – see further).
For indicators consisting of two or more sub-criteria, it
is useful to discuss in depth the assessment on the level
of the different sub-criteria as these provide interesting
information for possible improvement actions for the
future. Don’t forget to make comprehensive notes about
strengths and weaknesses on the level of sub-criteria (if
any) after each working group meeting and circulate the
notes among the working group members for feed-back.
We also recommend using the sub-criteria scores to
justify the indicator score in the EcoMobility report.
What if the scoring of an indicator is not possible?
There is no minimum number of indicators that has to
be assessed. The working group can decide to skip some
of the 20 indicators from the assessment for whatever
reasons. However it should take into account the
following points:
¢ The overall EcoMobility performance of the city
is based on the calculation of all 20 indicators.
This means that the more indicators that can be
assessed, the easier it is to achieve a good score. A
non assessed indicator gets a zero-score.
¢ A city that wants to prepare for an audit, should
measure all enabler indicators. If all 6 enabler
indicators are not assessed, the EcoMobility audit
cannot take place.
If the working group is unable to agree on the appropriate
assessment level due to, for example, lack of data,
no assessment for this indicator should be made. For
quantitative indicators, if no quantitative data is available
to measure them, a qualitative judgment cannot be used
instead. For qualitative indicators, the working group may
decide that only limited evidence is required to back up
the scores.
How to calculate overall results based on the
indicator scores
The SHIFT project leader should enter the agreed
indicator assessments within the working group into the
Assessment workbook. When this is done, results and
illustrations are automatically generated.
EcoMobility scores are automatically calculated:
¢ On the overall level (to give a total score for the
EcoMobility Index);
¢ For the three categories; and
¢ For the indicators within each category.
EcoMobility SHIFT Assessment and Audit Scheme Manual 24
The EcoMobility index gives the assessment of the
city’s overall EcoMobility performance. The category
scores indicate how well the city is doing in the enablers,
transport system & services and results & impacts.
Example:
The EcoMobility index for the city: 42 %.
For the different categories the city achieves:
¢ Enablers: 57 % of the maximum score
¢ Transport system and services: 43 %
¢ Results and Impacts: 26 %
In terms of points, the city has achieved the most points
within the Transport system and services category since
this category includes twice as many points as the other
two ones.
The scoring for the different criteria per category is
presented through a cobweb diagram. This is illustrated
below for the category “Enablers” with its six criteria.
In the example, the strengths of the city clearly lies within
the criteria Personnel and Resources, which has achieved
91% of the score. The weaknesses of the city’s ecomobility
performance is within the criteria Finance for EcoMobility
and Monitoring, Evaluation and Review.
The scores on the individual indicators per category are
presented in a bar diagram. See the illustration below for
the Enablers category.
In the example, one can see that on the indicator level, the
indicator Personnel and Resources is clearly a strength.
Another strength is the indicator Vision, Strategy and
Leadership. On the other hand the weaknesses of the
city are the indicators Finance for EcoMobility, and
Monitoring, Evaluation and Review which counteract the
strength of Personnel and Resources or Vision.
If you want to make other illustrations or
compilations of the results, this can be done
within the Assessment workbook, under the tab
‘Own illustrations’.
It is possible that you will have some strange or
anomalous results. If this is the case, then write
some further information about why the result
is not as expected (for example: faulty data
collection technique, outliers in the data, etc.).
Figure 5: An example on how the data will be displayed once the Assessment workbook is filled by the auditor
25EcoMobility SHIFT Assessment and Audit Scheme Manual
Make a first draft of the EcoMobility report
To finalise the assessment, the SHIFT project leader
should prepare a summary of the working group activities
and results in a first draft of the EcoMobility report.
To facilitate this work there is an EcoMobility Report
template. This template provides headlines and further
guidance. This includes the main areas to document such
as:
¢ Who has participated in the working group? How
were the roles distributed?
¢ The process, meetings and decision-taking process
¢ The assessment of the indicators with a short
justification and reference to main evidence in
appendix
¢ EcoMobility scores and illustration of the results
¢ Identified strengths and weaknesses, including
their possible causes
¢ The recommendation of actions
¢ Benefits and lessons learned
¢ Conclusions
The overview of scores is a good basis for a reflection.
High scores on individual indicators probably point at
strengths, low scores may point at weaknesses. Also,
analysing the achieved overall scores for each of the three
main categories may yield additional insights.
If a city has decided to carry out an external
audit, the sections on recommendation of
actions, benefits and lessons learned and
conclusions can be filled in later after the audit.
The first draft of the EcoMobility report should be
circulated among the working group members for final
feed-back. Any remaining gaps in evidence should be filled
up, any ambiguities in the analysis clarified.
FINAL CHECK
When a city is finished with this step:
RR All indicators will have been scored, unless
otherwise noted,
RR The SHIFT project leader should have completed
the Assessment workbook and a draft of
EcoMobility Report,
RR If preparing for an audit, the scores and evidence
should match up the minimum requirements for an
audit
RR The working group as a whole should have a clear
understanding of the city’s current EcoMobility
performance.
EcoMobility SHIFT Assessment and Audit Scheme Manual 26
STEP 5: Review and Plan Improvement ActionsBased on the compilation of the results of the EcoMobility
assessment and on a first analysis of strengths and
weaknesses, the SHIFT project leader needs to prepare
and organise a strategy meeting where the policy is
reviewed and improvement actions are planned. After the
strategy meeting, the documentation of the assessment
process can be finalised.
If the city is going to request an audit, it can be
advantageous to analyse strengths and weaknesses and
develop the recommendation of actions that are to be
carried out after the audit.
In the audit, neither strengths and weaknesses nor the
recommendation of actions are reviewed. By awaiting
the result from the audit, your analysis will be based on
quality checked indicator assessments.
The external recognition from the audit can also be the
cue to involve local politicians in the debate, if this was not
yet the case earlier in the assessment process.
Prepare for strategy meeting
The SHIFT project leader needs to consider the following
tasks for preparing the strategy meeting:
¢ Review the existing policies and strategies within
the city and make a list of current improvement
actions planned within the city that are relevant to
EcoMobility;
¢ Make a list of specific suggestions collected
from the assessment meeting (for future action/
improvement);
¢ Look for inspiring good examples of measures that
match short-term and long-term targets identified
during assessment;
¢ Share the EcoMobility draft assessment report with
working group members.
Cities with a certified measurement of
EcoMobility after audit, join the network of
ecomobile cities and their network activities;
these cities also get access to a database of
ecomobile cities to benchmark their own
indicator scores with other comparable or best
practice cities. This might be a good opportunity
to look for inspiring examples of measures.
Check with the SHIFT auditor and SHIFT
organisation for more information.
Organise the strategy meeting with the EcoMobility
working group
The aim of this strategy meeting is to:
¢ Discuss the feasible paths for the city based on
the assessment results (e.g. how to reach a label?
Long term infrastructure or more soft-mobility
improvements?);
¢ Organise an action plan based on short-, medium-
and long-term proposals and plans, highlight
already planned actions that are important to
EcoMobility or add strategic actions to an existing
plan from the EcoMobility point of view;
¢ Set initial timelines, budgets and responsibilities to
policy proposals.
It might be useful to involve politicians, user groups and/
or other stakeholders in this strategy meeting depending
on the interest and commitment shown by them in the
earlier steps of the assessment process.
For cities with a certified measurement of EcoMobility, it
is meaningful at this stage to exchange experience with
other cities in the EcoMobility network.
How to prioritise actions
The working group should discuss how to prioritise
actions in their city. The indicators can provide a guide
as to how the city should best employ their efforts to
improve their EcoMobility. Do not forget to look into the
detail of the sub-criteria in several indicators. This should
be taken within the context of the goals and sustainable
mobility policies of the city. Weakly performing indicators
or indicators that are not performing so well, but require
relatively few efforts to improve, can provide a good
starting point in prioritising actions.
27EcoMobility SHIFT Assessment and Audit Scheme Manual
Finalise the documentation of the EcoMobility
assessment process
To be able to communicate the results to politicians, the
public and other stakeholders, and also to remember both
the process and the results, it is necessary to document
the work. This is also a very helpful document when
repeating the assessment. In step 5, the first draft of the
EcoMobility report is complemented with:
¢ An update showing the verified indicator scores in
case there has been an external audit;
¢ The section “Recommendation of actions”,
overall information, tips for the next assessment,
conclusions and other information that is found to
be of importance.
The SHIFT project leader sends a draft of the final report
to the members of the working group and asks for
comments, corrections and amendments. Thereafter, the
SHIFT project leader finalises the report.
FINAL CHECK
When a city is finished with this step:
RR The results of the EcoMobility assessment can be
communicated to the political level. Depending
on the interest and commitment, an appropriate
communication is needed;
RR Dissemination of the assessment results to
stakeholders and the wider public can be
established;
RR The implementation of the planned improvement
actions can be established.
EcoMobility SHIFT Assessment and Audit Scheme Manual 28
Prepare for and Request an Audit
After the city has completed the assessment (step
4), it may want to request an EcoMobility audit. The
primary goal of an audit is to receive formal recognition
of a city’s current state of EcoMobility and for it to be
able to benchmark itself against other cities. When the
EcoMobility index is sufficiently high, cities will receive an
appropriate EcoMobility Label.
In general, not all 20 indicators need to be measured
and assessed during the assessment process in order
to request an audit. It is, however, obligatory that all 6
Enabler indicators have been measured and assessed in
the working group.
Moreover, in order to obtain a label, the city has to reach
at least 60 % of the maximum EcoMobility score (including
the city profile factors).
Use of city profile factors
The audit makes use of city profile factors to ensure cities
will be assessed on a rela-tively level playing field. This
means that cities having natural structural barriers to
implementing EcoMobility are not unfairly penalised, and
cities with few barriers are not unfairly advantaged. To
include the city profile factors, the city should provide
information regarding seven factors including wealth and
car ownership. Depending on the city profile factor values,
adjustments in the calculation of the EcoMobility score
are made.
City Profile Factors
CPF1 City Management and Finance
CPF2 Administrative Area Assessed
CPF3 Factors Influencing Propensity of Active Travel
CPF4 Wealth
CPF5 Car Ownership
CPF6 Influence of a city in the region
CPF7 Size of City Population
Examples of reasons for adjusting the EcoMobility index
include: very strict national spatial planning laws will
have a positive effect on results and impacts, a national
subsidy programme for a SUMP will have positive effects
on the enablers of a city, some geographical/climatic
characteristics reduce the overall choices for a city to
act towards EcoMobility or a number of decisions in the
past make it difficult for a city to move further in the
direction of EcoMobility. Further issues include: limited
funds available for EcoMobility, continuing growth in car
ownership coupled with political pressure for investment
to facilitate car use, the autonomy of the city in terms of
fund raising and how far it is constrained by national law
and other higher levels of government can also be very
important in determining how easy it is for cities to work
towards EcoMobility.
A detailed description of the city profile factors and
how to measure them can be found in the profile factors
document.
How does the recalculation with city profile factors
work?
Each indicator is scored on a maximum number of points
ranging from 10 to 40 points out of a total of 350 points.
The exact number of points for each indicator is found
under the heading “Scoring” in the indicator descriptions
(Appendix1). The introduction of the city profile factors
might change these maximum number of points of
indicators in a positive or a negative way. The result is
that for a city with a relatively greater number of barriers,
the indicator scores are recalculated on a lower number
of maximum points (total points < 350) but for a city with
relatively fewer barriers, this is the other way around and
the city’s indicator scores are recalculated on a higher
number of maximum points (total points >350). Which city
profile factors have an influence on each indicator and in
which direction this influence works, is explained under
the header “Grounds for reducing total maximum possible
score” in the Indicator description sheets.
How to request an EcoMobility audit
To carry out an audit, the city can contact a SHIFT-auditor
directly from the list of licensed auditors available on
www.ecomobility-shift.org or can contact the SHIFT
secretariat for help with finding a SHIFT auditor. For the
auditor to be able to carry out the audit, the city needs to
provide the following documents:
¢ EcoMobility audit request, including information
on the city profile factors (see further), that is not
older than 6 months
¢ The EcoMobility report, not older than 6 months
29EcoMobility SHIFT Assessment and Audit Scheme Manual
(the recommended actions do not need to be
included)
Documents that are either incomplete, do not provide
enough information or are too out of date will be returned
to the city. At this point, cities might consider either
contacting an external advisor for support in preparing for
an audit or conducting a re-assessment.
What does the audit procedure look like?
The main goal of the audit is to check the accuracy of a
city’s assessment report through meetings, interviews,
site-visits and collection of other information on-site.
Additionally, auditors will incorporate the city profile
factors into the city’s final EcoMobility index.
A single audit might take anywhere from three days to a
week, starting from the first contact of the auditor with
the city and ending with the EcoMobility audit report
being sent to the SHIFT organisation. This report contains
the advice for certification and EcoMobility label.
Below is a basic description of how an audit might be
structured.
Possible Time Plan for an Audit
Day 1
Auditor reviews city EcoMobility report and
evidence and EcoMobility audit request in order to
determine how to structure audit (interviews, site
visits, review of data/information, etc.).
Day 2
Auditor reviews city EcoMobility report and
evidence and EcoMobility audit request in order to
determine how to structure audit (interviews, site
visits, review of data/information, etc.).
Day 3
Auditor conducts audit in order to check, confirm
and verify information within the EcoMobility
report and in the EcoMobility Audit request
Day 4
Auditor adjusts score of a city’s original
EcoMobility report based on his/her findings and
drafts final audit report.
Day 5
Auditor meets with the SHIFT project leader
and one or more other working group members
to discuss final scoring and assessment, collects
comments and feedback from city on scoring
and audit process, advises the city on labelling
procedures (if applicable) and finalises report to
send to the SHIFT organisation.
What are the tangible benefits of an audit for the
city
The auditor, after verifying the scoring, the evidence and
having applied the city profile factors, will recommend
the city for a label if the final EcoMobility score is 60%
or more. The report with the recommendation is sent
to the EcoMobility SHIFT Labelling Commission. This
commission awards the label.
Labels are received according to the following final score:
¢ Bronze (minimum overall score of 60%)
¢ Silver (minimum overall score of 70% AND modal
split indicator of at least level 4)
¢ Gold (minimum overall score of 80% AND modal
split indicator of at least level 4)
Every city that has an external audit completed and
submitted to the SHIFT organisation will receive an
EcoMobility SHIFT certificate, regardless of the score
achieved.
A city with a certified measurement of EcoMobility
becomes a member of the EcoMobility SHIFT network
of cities and auditors. It will be invited to all network
activities and will be informed about all SHIFT activities
and any updates of the SHIFT scheme. As a member of
the network, the city will be able to benchmark its own
EcoMobility performance overall and per individual
indicator with other SHIFT network members. The
matching with other network cities for the purpose
of benchmarking and exchange of experience will
be coordinated by the SHIFT auditor and the SHIFT-
organisation in order to respect the overall confidentiality
of the audit outcomes.
Who can do an EcoMobility SHIFT audit?
Only licensed SHIFT auditors can perform an EcoMobility
SHIFT-audit. To receive this licence, an auditor must
attend and successfully complete a two-day EcoMobility
Auditor training course, where he or she will be prepared
to conduct an audit of a city’s EcoMobility performance
independently. An auditor licence is linked to a person and
not to the organisation that the person works for.
EcoMobility SHIFT Assessment and Audit Scheme Manual 30
More information on the auditor requirements, as well as
a list of all licensed auditors, can be found on http://www.
ecomobility-shift.org. The auditor is external to the city to
be audited. He or she works on behalf of, in name of, the
SHIFT organisation. The SHIFT organisation appoints the
auditor whilst the city contracts the auditor.
An EcoMobility SHIFT auditor can also assist a
city during the EcoMobility assessment. In this
case however, the same individual cannot do
the audit in your city. Under no circumstances
should an auditor audit an assessment to which
he/she has contributed.
In order to receive an EcoMobility audit
certificate after audit and an EcoMobility label
in case of outstanding performance, the audit
must be done by a licensed auditor
Is a city required to publicly share their external
audit?
No. Although SHIFT promotes sharing and exchange
of external reports (in order to better develop and
understand standards for EcoMobility and to benchmark
cities) cities are able to request that their audit report is
kept confidential for both the public and within the SHIFT
network.
Further discussion on the privacy of a city’s audit report
can be done with a licensed auditor during an audit, who
will relay the same to the SHIFT organisation.
Privacy matters related to other documents in the SHIFT
scheme (i.e. assessment report, recommended actions,
city profile factors) lie within the city.
SHIFT encourages cities to disseminate, share and publish
results related to EcoMobility assessments and actions to
improve their status. Such action is especially important
when raising public stakeholders and civil society
awareness and acceptance of local EcoMobility growth
measures.
Part 3A Step-by-Step Guide for the Audit in a City
This part III describes in more details the audit procedure a SHIFT-auditor needs to follow in order to
conduct an external audit of a city’s EcoMobility assessment.
A SHIFT auditor will carry out the verification of the assessment of the EcoMo-bility status (presented in
the EcoMobility report) including the city profile factors and will report the results both to the city and to
the SHIFT organisation. The city will contract the auditor.
SHIFT auditors will make use of the following documents during an audit:
¢ The assessment workbook (an excel workbook) (see appendix 4)
¢ The indicator descriptions (see appendix 1)
¢ The Audit report (a template, see appendix 3)
The SHIFT auditor receives from the city:
¢ City’s Audit request form with the City’s Profile factors form (see appendix 6)
¢ City’s Ecomobility report (written in the template you find in appendix 2)
EcoMobility SHIFT Assessment and Audit Scheme Manual 32
STEP1: Prepare the Audit
Check completeness of the city’s documents
For the auditor to be able to carry out the audit, the first
task is to ensure that:
¢ All required documents are submitted: the
EcoMobility audit request with the City profile
factors and the EcoMobility report;
¢ The EcoMobility report and the City profile factors
are no more than 6 months old;
¢ There are no inaccuracies in the working process of
the assessment (working group constitution etc.)
and this accords with the information written in the
EcoMobility report;
¢ All the necessary information is included in the
documents (e.g. main evidence for indicator levels)
meaning that:
� All enabler indicators need to be assessed and
documented (EcoMobility report)
� All city profile indicators need to be completed
for the city in order to re-calculate the
EcoMobility scores
If one or more of these conditions are not satisfied, please
return the documents to the city for review.
The section “recommended actions” of the
City’s EcoMobility report is not subject to
the audit.
What if the city has provided incomplete
information?
If a city is not ready for an audit (e.g. has only measured
half the indicators or has not measured all enabler
indicators), then advise cities to either: (1) if insufficient
information is minor and could have simply been
overlooked or is easily available, then suggest the city (re-)
sends the information, (2) if the city is not ready, suggest
re-assessment and audit at a later date (possibly after
another assessment) or (3) suggest the city seek out (or
receive from you) external advice.
Please note that all auditors who provide
external advice to a city cannot at a later
date conduct an audit.
Prepare for the audit visit
If the documents are complete, contact the city to:
¢ Agree on an overall time schedule for the audit (e.g.
when and how long the audit will be);
¢ Make sure to arrange an opening and closing
meeting with the city. At the very least, the SHIFT
project leader and the person in charge of data
compilation should be present at this meeting.
Prepare yourself for the audit visit by reviewing the
content of the city’s EcoMobility report. Also check
the extra evidence delivered by the city in the list of
resources. Develop the first draft of the Audit Report by
inserting evidence from the City’s EcoMobility Report in
the Audit Report.
Scan the city profile factors presented by the city in
the Audit request form. Descriptions of the factors are
presented in the document.
Consider the use of a task-list to assure
transparency of the audit process
A task list similar to the one below can be helpful as it
streamlines the process organising both what you need to
do and what you need the city to do for you. It also makes
the audit activities transparent to the SHIFT organisation
who make the final decision on the certification.
Task-list for City Officials/Working Group
[Use the table below to formulate a rough “check-list” of tasks you will
ask the city to complete or take part in during the audit. Make sure to
share this with the city and to agree on the tasks during the Opening
Meeting.]
Task Summary
Purpose Expected time needed
Personnel Involved
Expected Outcomes/
results
It includes making a summary of all auditing tasks by
identifying what to check (indicators, processes) and
how to check (interviews, site visits and observations,
documents). In preparing the task list, make sure to
include what information the city needs to provide you
with (e.g. figures, documents, etc.) and any interviews/
on-site observations you plan to hold. It’s important to
identify the purpose (why do you need to check this?
33EcoMobility SHIFT Assessment and Audit Scheme Manual
What evidence/which indicator are you verifying?) and
the expected time needed. When the task is complete,
write a short remark on the outcome – this will prove
useful for any needed verification at the end of the audit.
Outcomes should either increase or decrease the
indicator score, change the overall maximum score (e.g.
inclusion of city profile factors) or render the evidence
not-valid, bringing the indicator score to 0. Lowering a
score will impair a city’s rating, so it is suggested that you
inform the city before beginning the audit if they might
not have the proper evidence.
STEP2: Hold the Opening Meeting
Meet with the city to communicate your objectives and
intentions for the audit.
Make sure you discuss the overall structure of the audit
and establish basic understanding of the city’s role (rights
and duties) in the audit (e.g. what is the overall purpose,
what is the content of the audit report, what happens with
the audit report, privacy rules, etc.).
Present the auditor task list and communicate agreement
between both the city and the auditor in the process of
the audit.
This is also a good time to plan any exchange of required
information, site visits, interviews, etc.
Who should attend?
SHIFT suggests that at least the project leader and the
person(s) in charge of data compilation should attend the
opening meeting. It might be interesting to invite a senior
officer or political leader related to transport and mobility
(who has an interest in the audit) and (if applicable) the
external advisor to the opening meeting. If one person
plays more than one of these roles, this is fine.
STEP 3: Conduct the Audit
After you have familiarised yourself with the documents
and have agreed with the city on the process of the audit,
you are ready to begin.
The aim of the visit is to understand more fully the state
of the city, while at the same time verifying and clarifying
the data given in the city’s EcoMobility report (this does
not mean measurement or re-measurement of indicators
– this is not the auditor’s job).
The following tasks might help to confirm/verify evidence
from the assessment:
On-site visit of facilities to gain an overview of the
city’s transport system and services
This includes, for example, checking ease of use and
accessibility of the public transport system; the comfort,
safety and accessibility of the cycling network and
facilities and the pedestrian network; the parking system
and policies; and the city judgements on e.g. propensity
for active travel.
To prepare, ask about maps and timetable information,
ticketing, location of cycle facilities, a car parking plan,
speed zones and road hierarchy and new developments
based on urban-planning policies and standards.
Consider assistance during a site observation – combine
observation with an interview (e.g. with a user group
representative, city official or private service/transport
provider).
Some extra tips for the site visit are as follows:
¢ Go and visit the city by different transport means
s.a. train, bus, bicycle. While doing so, visit different
areas and get yourself an idea of the easiness to find
your way with that mode and assess the comfort
while using that mode; don’t forget to check mode
specific elements (parking facilities, accessibility for
people with reduced mobility, information, ..)
¢ Visit and observe different types of areas:
a residential area, a school environment, an
employment area, the inner city and the main
transfer points of the city’s public transport system.
For each of the different areas, get a feeling of
the overall amount of traffic, the traffic speed
and overall safety and comfort for cyclists and
pedestrians.
¢ Plan your site visit during peak hour time in the
morning or in the evening.
¢ Check specific good practice examples mentioned
by the city
¢ After the site visit, communicate with the city the
places where you went for the site visit to get an
idea of the representativeness of the places
EcoMobility SHIFT Assessment and Audit Scheme Manual 34
Review various documents and data
What to review? Verify any information in the evidence to
make sure it’s up to date and accurately cited. Also cross
check the quality of facts and figures against other region-
al/national standards for data collection/availability (is
the city providing the auditor with the highest quality of
evidence possible?).
Remember that it is important during the audit (and a
basic requirement for auditors) to be familiar with the
local, regional, national and European transport context as
well as the overall functioning of local (as well as regional
and national) authorities, policies and legislation within
the country.
Desk (web) research
Find out how easy it is to plan your route to and in the
city with sustainable modes. Check how easy it is to find
information about the different mobility management
services from the city’s website and check how complete
(modes and elements) this information is.
Interview city officials or other non-city stakeholders of
relevance
Suggested people to interview are: members of
the EcoMobility working group, other city officials,
representatives of user associations (external), providers
of mobility services (e.g. private bus/bike-sharing
company) and possibly regional and or national transport
authorities.
What should you check for? Make sure to double check
any “expert judgement” given in the EcoMobility report
evidence, the quality of assessment procedure (were
indicator measurements truly agreed upon in consensus
meetings with a diverse working group?) and get a second
validation on documents and hard facts (e.g. directly ask
the project/research head about the modal split collecting
process).
STEP 4: Recalculate EcoMobility ScoreDo a final review of the city’s EcoMobility report and the
city profile factors by following the instructions in the
Audit Report.
Then, re-calculate the scores by following the instructions
in the Assessment workbook for Auditors. Final
calculations will include all indicators, including the City
Profile factors.
STEP 5: Discuss the outcome with the CityAfter re-scoring the city and completing the Audit Report,
meet with the city (the Closing Meeting) to discuss the
final score and outcome of the audit. The audience of the
closing meeting is the same one as the audience from the
opening meeting.
After presenting your (as auditor) results, the city is
able to give their own comments and/or explanations
on weaker results (to include in the Audit Report), if the
city wishes to do so. The auditor might change his overall
advice based on this discussion.
If city representatives do not agree on the information in
the Audit Report, make note of their remarks and discuss
why you (as auditor) came to this conclusion. Cities are
always able to conduct another audit in the future.
If there are still inaccuracies and disagreements, the
SHIFT organisation will make the final decision on
scoring. Finalise the audit report and submit to the SHIFT
organisation for a final check.
It might be helpful to set up a checklist of questions to ask
beforehand.
During the audit, it is helpful to use the task list
and the audit report to document the findings of
your site visit. Edit/add findings and changes in
the evidence section of the Audit report.
Make sure to document all confirmation/
verification activities for future reference.
This is especially important if there are any
discrepancies between you (as auditor) and the
city being audited.
35EcoMobility SHIFT Assessment and Audit Scheme Manual
STEP 6: Labelling Process
If a city receives a score of over 60%, you (as auditor) are
able to recommend that the Audit Report be forwarded to
the SHIFT Labelling Board.
In the conclusion of the Audit Report, make sure to state
your support for the city in receiving a label.
Labels are received according to the following final score:
¢ Bronze (minimum overall score of 60 %)
¢ Silver (minimum overall score of 70 % AND modal
split indicator of at least level 4)
¢ Gold (minimum overall score of 80 % AND modal
split indicator of at least level 4)
After a final check of the Audit Report by the SHIFT
organisation, all audits receive a “Certified Measurement
of EcoMobility”.
Supported by
Project Coordinator:ICLEI - Local Governments for SustainabilityKaiser-Friedrich Str. 7, 53113 Bonn, Germanyemail: [email protected]: http://www.ecomobility-shift.org